Laws and Regulations Terms

  1. Exempt Transaction

  2. Express Warranty

  3. Fair Debt Collection Practices Act - FDCPA

  4. Fair Funds for Investors

  5. Federal Covered Advisor

  6. Federal Reserve Regulations

  7. Financial Institutions Regulatory Act

  8. Financial Privacy

  9. Financial Responsibility Law

  10. Financial Services Modernization Act Of 1999

  11. FINTRAC

  12. Food And Drug Administration - FDA

  13. Foreign Account Tax Compliance Act (FATCA)

  14. Foreign Corrupt Practices Act

  15. Full Disclosure

  16. Functional Regulation

  17. Glass-Steagall Act

  18. Global Financial Stability Report - GFSR

  19. Green Economics

  20. Guardian

  21. Handelsgesetzbuch - HGB

  22. Hell or High Water Contract

  23. Hold Harmless Clause

  24. Implied Contract

  25. Implied Contract Terms

  26. Inchoate

  27. Incorporeal Rights

  28. Industrialization

  29. Insider

  30. Insider Buying

  31. Insider Information

  32. International Organization Of Securities Commissions - IOSCO

  33. International Securities Exchange - ISE

  34. Intrastate Offering

  35. Investor Protection Act

  36. Joint And Several Liability

  37. Judgment

  38. Legal Rate Of Interest

  39. Legislative Overkill

  40. Letter Of Comment

  41. Letter Of Indemnity

  42. Libel

  43. Licensing Agreement

  44. Liquidated Damages

  45. Lisbon Treaty

  46. Listing Requirements

  47. Locked Market

  48. Locus Sigilli

  49. Market Capitalization Rule

  50. Market Performance Committee

  51. Markets In Financial Instruments Directive - MiFID

  52. Mechanic's Lien

  53. Meeting Of The Minds

  54. Memorandum of Understanding - MOU

  55. National Market System Plan - NMSP

  56. National Treatment

  57. NCUA-Insured Institution

  58. Negotiable

  59. Non-Compete Agreement

  60. Non-Negotiable

  61. Non-Open Market

  62. Nonfeasance

  63. Notice Filing

  64. Novation

  65. Occupational Labor Mobility

  66. Office Of Foreign Asset Control - OFAC

  67. Official Strike

  68. Open-Market Transaction

  69. Options Backdating

  70. Options Clearing Corporation - OCC

  71. Oral Contract

  72. Order Protection Rule

  73. Organic Act of the Department of Labor

  74. Organisation for Economic Co-operation and Development - OECD

  75. Organisation of Eastern Caribbean States (OECS)

  76. Organized Labor

  77. Over-The-Counter Bulletin Board - OTCBB

  78. Patent Reexamination

  79. PATH Act

  80. Power Of Attorney

  81. Power of Attorney of Property

  82. Pre-Syndicate Bid

  83. Price Cap Regulation

  84. Property Rights

  85. Punitive Damages

  86. Qualified Institutional Buyer - QIB

  87. Quiet Title Action

  88. Rate Of Return Regulation

  89. Registered Investment Advisor - RIA

  90. Regulation 9

  91. Regulation A

  92. Regulation AA

  93. Regulation BB

  94. Regulation C

  95. Regulation CC

  96. Regulation DD

  97. Regulation E

  98. Regulation F

  99. Regulation Fair Disclosure - Reg FD

  100. Regulation G

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